Loading…
Senior Security Act of 2021
Legislative Progress
Momentum (last 30 days)
0
score
0 actions · 0 new cosponsors · 0 votes
Speed vs cohort
75pct
50d open
vs 9,698 other HR bills in the 117th — cohort avg 63d
National Senior Investor Initiative Act of 2021 or the Senior Security Act of 2021 This bill establishes the Senior Investor Taskforce within the Securities and Exchange Commission. The taskforce must report on topics relating to investors over the age of 65, including industry trends and serious issues impacting such investors, and make recommendations for legislative or regulatory actions to address problems encountered by senior investors. The Government Accountability Office must report on the financial exploitation of senior citizens.
These links require the bill number to appear in the filing's source-reported specific issue text. Client expenses and lobbying-firm income are separate disclosure fields.
Filing registrants (6)
2022 · fourth_quarter · Health Issues
Received in the Senate and Read twice and referred to the Committee on Banking, Housing, and Urban Affairs.
Pursuant to section 6 of H. Res. 330, and the motion offered by Mr. Hoyer, the following bills passed under suspension of the rules: H.R. 367; H.R. 370; H.R. 396; H.R. 397, as amended; H.R. 408; H.R. 490; H.R. 965, as amended; H.R. 1251, as amended; H.R. 1395; H.R. 1491; H.R. 1528; H.R. 1532; H.R. 1565; H.R. 1602; and H.R. 2523, as amended; and the following resolution was agreed to under suspension of the rules: H. Res. 124, as amended. (consideration: CR H1979-1994; text: CR H1989-1990)
Passed/agreed to in House: Pursuant to section 6 of H. Res. 330, and the motion offered by Mr. Hoyer, the following bills passed under suspension of the rules: H.R. 367; H.R. 370; H.R. 396; H.R. 397, as amended; H.R. 408; H.R. 490; H.R. 965, as amended; H.R. 1251, as amended; H.R. 1395; H.R. 1491; H.R. 1528; H.R. 1532; H.R. 1565; H.R. 1602; and H.R. 2523, as amended; and the following resolution was agreed to under suspension of the rules: H. Res. 124, as amended.(consideration: CR H1979-1994; text: CR H1989-1990)
Pursuant to the provisions of H. Res. 330, proceedings on H.R. 1565 are considered vacated.
At the conclusion of debate, the Yeas and Nays were demanded and ordered. Pursuant to the provisions of clause 8, rule XX, the Chair announced that further proceedings on the motion would be postponed.
DEBATE - The House proceeded with forty minutes of debate on H.R. 1565.
Bills with similar content found using semantic analysis.
Sources: Congress.gov
Practice Support/Grants to Practice Foreign physician immigration status Medical liability H.R. 7259, Medical Controlled Substances Transportation Act of 2022: to enable physicians to more easily transport controlled substances safely and legally across state lines H.R. 133, the Consolidated Appropriations Act, 2021: No Surprises Act, surprise medical billing H.R. 2630, Extending Temporary Emergency Scheduling of Fentanyl Analogues Act: Opioids H.R. 3502, Protecting People From Surprise Medical Bills Act: Surprise Medical Bills S. 445, Mainstreaming Addiction Treatment Act of 2021: Opioids H.R. 4387, Maternal Health Quality Improvement Act of 2021: Maternal health H.R. 1565, Saving Lives, Saving Costs S. 1475, Saving Lives, Saving Costs S. 610, Dr. Lorna Breen Health Care Provider Protection Act: Physician wellness H.R. 1667, Dr. Lorna Breen Health Care Provider Protection Act: Physician wellness S. 987, CARA 3.0 Act of 2021: Opioids H.R. 3259, NOPAIN Act: Opioids S. 586, NOPAIN Act: Opioids S. 1292, Non-Opioid Directive Act: Opioids H.R. 7961, SAVE Act: To protect hospital personnel from violence, and for other purposes. FY 2021 LHHS Appropriations: Fiscal Year 2021 Appropriations for Subcommittee on Labor, Health and Human Services Pre-authorization; prior authorization Affordable Care Act reform efforts Medical Controlled Substances Transportation 42 CFR Part 2, Confidentiality of Substance Use Disorder Patient Records: appropriate access to patient information essential for providing whole-person care Resident Education Deferred Interest Act (REDI Act): Student loan relief Student Loan Forgiveness for Frontline Health Workers Act: Student loan relief H.R. 842, Protecting the Right to Organize Act of 2021: PRO Act, labor protections 21st Century Cures Initiative H.R. 4369, National Centers of Excellence in Continuous Pharmaceutical Manufacturing Act: Drug shortages DEA Scheduling Propofol Comparative Effectiveness Research - PCORI HITECH Implementation, Electronic Health Records, Final and Proposed Rules, HIT Meaningful Use HHS/OIG Anesthesia Practice Arrangements, Company Model FDA Safe Use Initiative Pain Management FTC Letters to States re: Interventional Pain Medicine & Advanced Practice Nurses & Competition in Healthcare Anesthesia Research Funding (Pediatric and others) Scope of Practice FDA Operating Room Fires Naloxone FDA Opioids Ketamine use by law enforcement Prescription Drug Abuse FDA Network of Experts NIH Interagency Pain Research Coordinating Committee USP - US Pharmacopeia National Pain Strategy Nondiscrimination Compounding FDA Nominations to Advisory Committees (Anesthesia Drugs, Anesthesia Devices, Compounding) Agency for Healthcare Research and Quality (AHRQ) funding Hospital Consumer Assessment of Healthcare Providers and Systems (HCAHPS) Brain health Certified Anesthesiologist Assistants Blood management Funding for physician practices impacted by the cancellation of elective surgeries, unique role of anesthesiologists in responding to COVID-19 pandemic, medical liability, scope of Practice (waiver of federal supervision requirement under the Emergency Declaration), insurance moratorium; COVID Update Memorandum 4/21/20 Long COVID research Anesthesia workforce shortages CDC Opioid Prescribing Guideline
Client expense: $270,000 · Firm income: Not reported
Government targets: Centers For Disease Control & Prevention (CDC), Centers For Medicare and Medicaid Services (CMS), Defense, Dept of (DOD), Drug Enforcement Administration (DEA), Executive Office of the President (EOP), Federal Trade Commission (FTC), Food & Drug Administration (FDA), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Justice, Dept of (DOJ), Natl Institutes of Health (NIH), Occupational Safety & Health Administration (OSHA), Office of Management & Budget (OMB), SENATE, Veterans Affairs, Dept of (VA), White House Office
2022 · fourth_quarter · Taxation/Internal Revenue Code
HR 1459/S 510, Ultra-Millionaire Tax Act - impose a tax on the net value of assets of a taxpayer. HR 1984, Disaster Savings and Resilient Construction Act - provide a credit for owning certain disaster resilient property. S 617, Death Tax Repeal Act of 2021 - repeal the estate and generation-skipping transfer taxes. HR 1979/S 794, Tax Excessive CEO Pay Act - corporate tax rate increase on companies whose ratio of compensation of the CEO to median worker is more than 50 to 1. HR 328/S 817, Wall Street Tax Act - impose a 0.1% excise tax on certain purchases of stocks, bonds, and derivatives. HR 1565/S 856, Senior Security Act - establishes the Senior Investor Taskforce within the SEC. S 994, For the 99.5% Act - reinstate estate and generation-skipping taxes. PL 115-97, Tax Cuts and Jobs Act - amends corporate and individual tax provisions. TAX HR 2573/S 1136 Affordable Housing Credit Improvement Act of 2021 -- to reform the low-income housing credit S 1283Tax on Wall Street Speculation Act -- impose a tax on certain trading transactions S 1308American Infrastructure Bonds Act of 2021 -- allows the issuer of an American infrastructure bond a tax credit for 28% of the interest payable under such bond. S 2028Millionaires Surtax Act -- To impose a surtax on high income individuals. S 2621Modernization of Derivatives Tax Act - modifies the tax treatment of derivatives. HR 5376 Inflation Reduction Act of 2022 - imposes an alternative minimum tax of 15% of the average annual adjusted financial statement income HR 9030/S 5017, Repealing the Ill-Conceived and Problematic (RIP) Book Minimum Tax Act - This Bill repeals the 15% alternative minimum tax on corporations enacted by the Inflation Reduction Act of 2022 HR 4675/S 5176 Disaster Mitigation and Tax Parity Act of 2022 - excludes from gross income for income tax purposes, any qualified catastrophe mitigation payment made under a state-based catastrophe loss mitigation program
Client expense: $810,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
No bill number. Discussed Person to Person (P2P) platform reforms and P.L.95-630 Electronic Funds Transfer Act. No bill number. Discussed cryptocurrency fraud. No bill number. Discussed nursing home debt collection and family caregiving. H.R. 1565/S. 856, Senior Security Act. HR 7923, Investor Justice Act. No bill number. Discussed the Edith Shorougian Senior Victims of Fraud Compensation Act. HR 5914/S 3529, Empowering States to Protect Seniors from Bad Actors Act. No bill number. Discussed commercial surveillance and data security. No bill number. Discussed fraud prevention.
Client expense: $4,180,000 · Firm income: Not reported
Government targets: Consumer Financial Protection Bureau (CFPB), Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
2022 · third_quarter · Taxation/Internal Revenue Code
HR 1459/S 510, Ultra-Millionaire Tax Act - impose a tax on the net value of assets of a taxpayer. HR 1984, Disaster Savings and Resilient Construction Act - provide a credit for owning certain disaster resilient property. S 617, Death Tax Repeal Act of 2021 - repeal the estate and generation-skipping transfer taxes. HR 1979/S 794, Tax Excessive CEO Pay Act - corporate tax rate increase on companies whose ratio of compensation of the CEO to median worker is more than 50 to 1. HR 328/S 817, Wall Street Tax Act - impose a 0.1% excise tax on certain purchases of stocks, bonds, and derivatives. HR 1565/S 856, Senior Security Act - establishes the Senior Investor Taskforce within the SEC. S 994, For the 99.5% Act - reinstate estate and generation-skipping taxes. PL 115-97, Tax Cuts and Jobs Act - amends corporate and individual tax provisions. TAX HR 2573/S 1136 Affordable Housing Credit Improvement Act of 2021 -- to reform the low-income housing credit S 1283Tax on Wall Street Speculation Act -- impose a tax on certain trading transactions S 1308American Infrastructure Bonds Act of 2021 -- allows the issuer of an American infrastructure bond a tax credit for 28% of the interest payable under such bond. S 2028Millionaires Surtax Act -- To impose a surtax on high income individuals. S 2621Modernization of Derivatives Tax Act - modifies the tax treatment of derivatives. HR 5376 Inflation Reduction Act of 2022 - imposes an alternative minimum tax of 15% of the average annual adjusted financial statement income
Client expense: $900,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2022 · third_quarter · Health Issues
Practice Support/Grants to Practice Foreign physician immigration status Medical liability H.R. 7259, Medical Controlled Substances Transportation Act of 2022: to enable physicians to more easily transport controlled substances safely and legally across state lines H.R. 133, the Consolidated Appropriations Act, 2021: No Surprises Act, surprise medical billing H.R. 2630, Extending Temporary Emergency Scheduling of Fentanyl Analogues Act: Opioids H.R. 3502, Protecting People From Surprise Medical Bills Act: Surprise Medical Bills S. 445, Mainstreaming Addiction Treatment Act of 2021: Opioids H.R. 4387, Maternal Health Quality Improvement Act of 2021: Maternal health H.R. 1565, Saving Lives, Saving Costs S. 1475, Saving Lives, Saving Costs S. 610, Dr. Lorna Breen Health Care Provider Protection Act: Physician wellness H.R. 1667, Dr. Lorna Breen Health Care Provider Protection Act: Physician wellness S. 987, CARA 3.0 Act of 2021: Opioids H.R. 3259, NOPAIN Act: Opioids S. 586, NOPAIN Act: Opioids S. 1292, Non-Opioid Directive Act: Opioids H.R. 7961, SAVE Act: To protect hospital personnel from violence, and for other purposes. FY 2021 LHHS Appropriations: Fiscal Year 2021 Appropriations for Subcommittee on Labor, Health and Human Services Pre-authorization; prior authorization Affordable Care Act reform efforts Medical Controlled Substances Transportation 42 CFR Part 2, Confidentiality of Substance Use Disorder Patient Records: appropriate access to patient information essential for providing whole-person care Resident Education Deferred Interest Act (REDI Act): Student loan relief Student Loan Forgiveness for Frontline Health Workers Act: Student loan relief H.R. 842, Protecting the Right to Organize Act of 2021: PRO Act, labor protections 21st Century Cures Initiative H.R. 4369, National Centers of Excellence in Continuous Pharmaceutical Manufacturing Act: Drug shortages DEA Scheduling Propofol Comparative Effectiveness Research - PCORI HITECH Implementation, Electronic Health Records, Final and Proposed Rules, HIT Meaningful Use HHS/OIG Anesthesia Practice Arrangements, Company Model FDA Safe Use Initiative Pain Management FTC Letters to States re: Interventional Pain Medicine & Advanced Practice Nurses & Competition in Healthcare Anesthesia Research Funding (Pediatric and others) Scope of Practice FDA Operating Room Fires Naloxone FDA Opioids Ketamine use by law enforcement Prescription Drug Abuse FDA Network of Experts NIH Interagency Pain Research Coordinating Committee USP - US Pharmacopeia National Pain Strategy Nondiscrimination Compounding FDA Nominations to Advisory Committees (Anesthesia Drugs, Anesthesia Devices, Compounding) Agency for Healthcare Research and Quality (AHRQ) funding Hospital Consumer Assessment of Healthcare Providers and Systems (HCAHPS) Brain health Certified Anesthesiologist Assistants Blood management Funding for physician practices impacted by the cancellation of elective surgeries, unique role of anesthesiologists in responding to COVID-19 pandemic, medical liability, scope of Practice (waiver of federal supervision requirement under the Emergency Declaration), insurance moratorium; COVID Update Memorandum 4/21/20 Long COVID research
Client expense: $350,000 · Firm income: Not reported
Government targets: Centers For Medicare and Medicaid Services (CMS), Defense, Dept of (DOD), Drug Enforcement Administration (DEA), Executive Office of the President (EOP), Federal Trade Commission (FTC), Food & Drug Administration (FDA), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Justice, Dept of (DOJ), Natl Institutes of Health (NIH), Occupational Safety & Health Administration (OSHA), Office of Management & Budget (OMB), SENATE, Veterans Affairs, Dept of (VA), White House Office
2022 · second_quarter · Health Issues
Practice Support/Grants to Practice Foreign physician immigration status Medical liability H.R. 7259, Medical Controlled Substances Transportation Act of 2022: to enable physicians to more easily transport controlled substances safely and legally across state lines H.R. 133, the Consolidated Appropriations Act, 2021: No Surprises Act, surprise medical billing H.R. 2630, Extending Temporary Emergency Scheduling of Fentanyl Analogues Act: Opioids H.R. 3502, Protecting People From Surprise Medical Bills Act: Surprise Medical Bills S. 445, Mainstreaming Addiction Treatment Act of 2021: Opioids H.R. 4387, Maternal Health Quality Improvement Act of 2021: Maternal health H.R. 1565, Saving Lives, Saving Costs S. 1475, Saving Lives, Saving Costs S. 610, Dr. Lorna Breen Health Care Provider Protection Act: Physician wellness H.R. 1667, Dr. Lorna Breen Health Care Provider Protection Act: Physician wellness S. 987, CARA 3.0 Act of 2021: Opioids H.R. 3259, NOPAIN Act: Opioids S. 586, NOPAIN Act: Opioids S. 1292, Non-Opioid Directive Act: Opioids FY 2021 LHHS Appropriations: Fiscal Year 2021 Appropriations for Subcommittee on Labor, Health and Human Services Pre-authorization Affordable Care Act reform efforts Medical Controlled Substances Transportation 42 CFR Part 2, Confidentiality of Substance Use Disorder Patient Records: appropriate access to patient information essential for providing whole-person care Resident Education Deferred Interest Act (REDI Act): Student loan relief Student Loan Forgiveness for Frontline Health Workers Act: Student loan relief H.R. 842, Protecting the Right to Organize Act of 2021: PRO Act, labor protections 21st Century Cures Initiative H.R. 4369, National Centers of Excellence in Continuous Pharmaceutical Manufacturing Act: Drug shortages DEA Scheduling Propofol Comparative Effectiveness Research - PCORI HITECH Implementation, Electronic Health Records, Final and Proposed Rules, HIT Meaningful Use HHS/OIG Anesthesia Practice Arrangements, Company Model FDA Safe Use Initiative Pain Management FTC Letters to States re: Interventional Pain Medicine & Advanced Practice Nurses & Competition in Healthcare Anesthesia Research Funding (Pediatric and others) Scope of Practice FDA Operating Room Fires Naloxone FDA Opioids Ketamine use by law enforcement Prescription Drug Abuse FDA Network of Experts NIH Interagency Pain Research Coordinating Committee USP - US Pharmacopeia National Pain Strategy Nondiscrimination Compounding FDA Nominations to Advisory Committees (Anesthesia Drugs, Anesthesia Devices, Compounding) Agency for Healthcare Research and Quality (AHRQ) funding Hospital Consumer Assessment of Healthcare Providers and Systems (HCAHPS) Brain health Certified Anesthesiologist Assistants Blood management Funding for physician practices impacted by the cancellation of elective surgeries, unique role of anesthesiologists in responding to COVID-19 pandemic, medical liability, scope of Practice (waiver of federal supervision requirement under the Emergency Declaration), insurance moratorium; COVID Update Memorandum 4/21/20 Long COVID research
2022 · second_quarter · Taxation/Internal Revenue Code
HR 1459/S 510, Ultra-Millionaire Tax Act - impose a tax on the net value of assets of a taxpayer. HR 1984, Disaster Savings and Resilient Construction Act - provide a credit for owning certain disaster resilient property. S 617, Death Tax Repeal Act of 2021 - repeal the estate and generation-skipping transfer taxes. HR 1979/S 794, Tax Excessive CEO Pay Act - corporate tax rate increase on companies whose ratio of compensation of the CEO to median worker is more than 50 to 1. HR 328/S 817, Wall Street Tax Act - impose a 0.1% excise tax on certain purchases of stocks, bonds, and derivatives. HR 1565/S 856, Senior Security Act - establishes the Senior Investor Taskforce within the SEC. S 994, For the 99.5% Act - reinstate estate and generation-skipping taxes. PL 115-97, Tax Cuts and Jobs Act - amends corporate and individual tax provisions. TAX HR 2573/S 1136 Affordable Housing Credit Improvement Act of 2021 -- to reform the low-income housing credit S 1283Tax on Wall Street Speculation Act -- impose a tax on certain trading transactions S 1308American Infrastructure Bonds Act of 2021 -- allows the issuer of an American infrastructure bond a tax credit for 28% of the interest payable under such bond. S 2028Millionaires Surtax Act -- To impose a surtax on high income individuals. S 2621Modernization of Derivatives Tax Act - modifies the tax treatment of derivatives. HR 4940/S 2680 Real Corporate Profits Tax Act - imposes an additional 7% tax on the adjusted net book income of a corporation that exceeds $100 million HR 5376 Build Back Better Act - provides funding, establishes programs, and otherwise modifies provisions relating to a broad array of areas, including education, labor, childcare, health care, taxes, immigration, and the environment
Client expense: $940,000 · Firm income: Not reported
2022 · first_quarter · Health Issues
Practice Support/Grants to Practice Foreign physician immigration status Medical liability H.R. 133, the Consolidated Appropriations Act, 2021: No Surprises Act, surprise medical billing H.R. 2630, Extending Temporary Emergency Scheduling of Fentanyl Analogues Act: Opioids H.R. 3502, Protecting People From Surprise Medical Bills Act: Surprise Medical Bills S. 445, Mainstreaming Addiction Treatment Act of 2021: Opioids H.R. 4387, Maternal Health Quality Improvement Act of 2021: Maternal health H.R. 1565, Saving Lives, Saving Costs S. 1475, Saving Lives, Saving Costs S. 610, Dr. Lorna Breen Health Care Provider Protection Act: Physician wellness H.R. 1667, Dr. Lorna Breen Health Care Provider Protection Act: Physician wellness S. 987, CARA 3.0 Act of 2021: Opioids H.R. 3259, NOPAIN Act: Opioids S. 586, NOPAIN Act: Opioids S. 1292, Non-Opioid Directive Act: Opioids FY 2021 LHHS Appropriations: Fiscal Year 2021 Appropriations for Subcommittee on Labor, Health and Human Services Pre-authorization Affordable Care Act reform efforts Medical Controlled Substances Transportation 42 CFR Part 2, Confidentiality of Substance Use Disorder Patient Records: appropriate access to patient information essential for providing whole-person care Resident Education Deferred Interest Act (REDI Act): Student loan relief Student Loan Forgiveness for Frontline Health Workers Act: Student loan relief H.R. 842, Protecting the Right to Organize Act of 2021: PRO Act, labor protections 21st Century Cures Initiative H.R. 4369, National Centers of Excellence in Continuous Pharmaceutical Manufacturing Act: Drug shortages DEA Scheduling Propofol Comparative Effectiveness Research - PCORI HITECH Implementation, Electronic Health Records, Final and Proposed Rules, HIT Meaningful Use HHS/OIG Anesthesia Practice Arrangements, Company Model FDA Safe Use Initiative Pain Management FTC Letters to States re: Interventional Pain Medicine & Advanced Practice Nurses & Competition in Healthcare Anesthesia Research Funding (Pediatric and others) Scope of Practice FDA Operating Room Fires Naloxone FDA Opioids Ketamine use by law enforcement Prescription Drug Abuse FDA Network of Experts NIH Interagency Pain Research Coordinating Committee USP - US Pharmacopeia National Pain Strategy Nondiscrimination Compounding FDA Nominations to Advisory Committees (Anesthesia Drugs, Anesthesia Devices, Compounding) Agency for Healthcare Research and Quality (AHRQ) funding Hospital Consumer Assessment of Healthcare Providers and Systems (HCAHPS) Brain health Certified Anesthesiologist Assistants Blood management Funding for physician practices impacted by the cancellation of elective surgeries, unique role of anesthesiologists in responding to COVID-19 pandemic, medical liability, scope of Practice (waiver of federal supervision requirement under the Emergency Declaration), insurance moratorium; COVID Update Memorandum 4/21/20
2022 · first_quarter · Taxation/Internal Revenue Code
HR 1459/S 510, Ultra-Millionaire Tax Act - impose a tax on the net value of assets of a taxpayer. HR 1984, Disaster Savings and Resilient Construction Act - provide a credit for owning certain disaster resilient property. S 617, Death Tax Repeal Act of 2021 - repeal the estate and generation-skipping transfer taxes. HR 1979/S 794, Tax Excessive CEO Pay Act - corporate tax rate increase on companies whose ratio of compensation of the CEO to median worker is more than 50 to 1. HR 328/S 817, Wall Street Tax Act - impose a 0.1% excise tax on certain purchases of stocks, bonds, and derivatives. HR 1565/S 856, Senior Security Act - establishes the Senior Investor Taskforce within the SEC. S 994, For the 99.5% Act - reinstate estate and generation-skipping taxes. PL 115-97, Tax Cuts and Jobs Act - amends corporate and individual tax provisions. TAX HR 2573/S 1136 Affordable Housing Credit Improvement Act of 2021 -- to reform the low-income housing credit S 1283Tax on Wall Street Speculation Act -- impose a tax on certain trading transactions S 1308American Infrastructure Bonds Act of 2021 -- allows the issuer of an American infrastructure bond a tax credit for 28% of the interest payable under such bond. S 2028Millionaires Surtax Act -- To impose a surtax on high income individuals. S 2621Modernization of Derivatives Tax Act - modifies the tax treatment of derivatives. HR 4940/S 2680 Real Corporate Profits Tax Act - imposes an additional 7% tax on the adjusted net book income of a corporation that exceeds $100 million HR 5376 Build Back Better Act - provides funding, establishes programs, and otherwise modifies provisions relating to a broad array of areas, including education, labor, childcare, health care, taxes, immigration, and the environment
Client expense: $560,000 · Firm income: Not reported
2021 · fourth_quarter · Retirement
Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform. DOL - EBSA - Cybersecurity Guidance for Plan Sponsors, Fiduciaries, Record Keepers and Participants. DOL - EBSA - PTE 2020-02 - Improving Investment Advice for Workers & Retirees. DOL - EBSA - Financial Factors in Selecting Plan Investments - ZRIN 1210-AB95. DOL - EBSA - Improving Investment Advice for Workers and Retirees - ZRIN 1210-ZA29. DOL - EBSA - Pension Benefit Statements-Lifetime Income Illustrations - RIN 1210-AB20. DOL - EBSA - Fiduciary Duties Regarding Proxy Voting and Shareholder Rights - RIN 1210-AB91. DOL - OSEC - Rescission of Department of Labor Rule on Guidance (29 CFR Part 89 - RIN 1290-AA41). DOL - EBSA - Amendment to and Partial Revocation of Prohibited Transaction Exemption (PTE) 84-24 for Certain Transactions Involving Insurance Agents and Brokers, Pension Consultants, Insurance Companies, and Investment Company Principal Underwriters. DOL - EBSA - Definition of the Term Fiduciary - RIN 1210-AC02. DOL - EBSA - Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights (RIN - 1210-AC03/ 29 CFR 2550). EOP - Executive Order on Climate-Related Financial Risk. EOP - Amending Executive Order 13959 - Addressing the Threat from Securities Investments That Finance Communist Chinese Military Companies (E.O. 13974 of Jan 13, 2021 - 86 FR 4875). EOP - Executive Order 13990 - Protecting Public Health and the Environment and Restoring Science to Tackle the Climate Crisis (Federal Register/Vol. 86, No. 14 - Monday, January 25, 2021). FINRA - Comment on Lessons From the COVID-19 Pandemic (Regulatory Notice 20-42). Proposals at the Department of Treasury for increasing Americans' access to guaranteed lifetime income solutions. Treasury - IRS Proposed Rulemaking: Multiple Employer Plans (26 CFR Part 1 [REG-121508-18] RIN 1545-BO97). Treasury - IRS Proposed Rulemaking: Updated Life Expectancy and Distribution Period Tables Used for Purposes of Determining Minimum Required Distributions (26 CFR Part 1 [REG-132210-18] RIN 1545-BP11). Proposals at the Department of Labor for increasing Americans' access to guaranteed lifetime income solutions. SEC - Implementation and Enforcement of Regulation BI and Form CRS. SEC - Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts (17 CFR Parts 230, 232, 239, 240, 270, and 274). SEC - Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice - RIN 3235-AN00 (Release Nos. 34-92766; IA-5833; File No. S7-10-21). SEC - FINRA - Proposed Rule Change to Amend FINRA Rule 2231 (Customer Account Statements) - SR-FINRA-2021-024. SEC - FINRA - Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17 - SR-FINRA-2021-023. SEC - Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants - (RIN 3235-AM76 - Release No. 34-93614; File No. S7-19-2 - 17 CFR Part 240). The Automatic Retirement Plan Act of 2017 (H.R. 4523 - 115th Congress). The Retirement Plan Simplification Act of 2017 (H.R. 4524 - 115th Congress). The Expanding Access to Retirement Savings for Caregivers Act (H.R. 3078 - 116th Congress). The Application of ERISA to Insurance Company General Accounts and General Account Contracts (H.R. 7278 - 115th Congress). Senior Investor Pandemic and Fraud Protection Act - House Financial Services National Security, International Development and Monetary Policy Subcommittee (Discussion Draft). The Enhancing Emergency and Retirement Savings Act (S.1870-117th Congress). The Financial Exploitation Prevention Act (H.R. 2265 - 117th Congress). The Financial Factors in Selecting Retirement Plan Investment Act (S.1762/H.R. 3387-117th Congress). The Financial Services and General Government Appropriations Act, 2022 (H.R.4345 - 117th Congress). The Improving Access to Retirement Savings Act of 2021 (S.1703 - 117th Congress). The Military Spouses Retirement Security Act (S.1273/HR 1453 - 117th Congress). The Protecting the Right to Organize (PRO) Act (S.420/H.R. 842-117th Congress). The Retirement Parity for Student Loans Act (S.1443/HR 2917 - 117th Congress). The Retirement Savings Lost and Found Act (S.1730 - 117th Congress). The Retirement Security and Savings Act of 2021 (S.1770 - 117th Congress). The Securing a Strong Retirement Act (H.R.2954 - 117th Congress). The Securing and Enabling Commerce Using Remote and Electronic Notarization Act (S.1625/H.R. 3962 - 117th Congress). The Senior Security Act (S.856/H.R.1565 - 117th Congress). The Servicemember Retirement Improvement Act (H.R. 905 - 116th Congress). The E-SIGN Modernization Act. (S.4159 - 116th Congress). The Lifetime Income for Employees Act (H.R. 8990 - 116th Congress). The Secure and Fair Enforcement (SAFE) Banking Act (S.910/H.R. 1996 - 117th Congress). Build Back Better Act (H.R. 5367 - 117th Congress). Womens Retirement Protection Act (S.2446/H.R. 4678 - 117th Congress). National Defense Authorization Act for Fiscal Year 2022 (S.2792/H.R. 4350 - 117th Congress). Elder Justice Reauthorization and Modernization Act of 2021 (S.2674/H.R.4969 - 117th Congress). The Retirement Improvement and Savings Enhancement (RISE) Act (H.R. 5891 - 117th Congress). The Registration for Index-Linked Annuities (RILA) Act (S.3198/H.R. 4865 - 117th Congress). Build Back Better Act (H.R. 5367 - 117th Congress). The Long-Term Care Affordability Act (S.2415 - 117th Congress). The Financial Fitness Act (H.R. 5779 - 117th Congress). DOL implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury/IRS implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury - IRS - Draft of the 2022 IRS Form W-4P and W4-R, Withholding Certificate for Periodic Pension or Annuity Payments. Treasury - IRS - Notice 2021-03 - Extension of Temporary Relief from the Physical Presence Requirement for Spousal Consents Under Qualified Retirement Plans.
2021 · fourth_quarter · Financial Institutions/Investments/Securities
Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform. EOP - Executive Order on Climate-Related Financial Risk. EOP - Amending Executive Order 13959 - Addressing the Threat from Securities Investments That Finance Communist Chinese Military Companies (E.O. 13974 of Jan 13, 2021 - 86 FR 4875). EOP - Executive Order 13990 - Protecting Public Health and the Environment and Restoring Science to Tackle the Climate Crisis (Federal Register/Vol. 86, No. 14 - Monday, January 25, 2021). FINRA - Comment on Lessons From the COVID-19 Pandemic (Regulatory Notice 20-42). DOL - EBSA - Cybersecurity Guidance for Plan Sponsors, Fiduciaries, Record Keepers and Participants. DOL - EBSA - PTE 2020-02 - Improving Investment Advice for Workers & Retirees. DOL - EBSA - Financial Factors in Selecting Plan Investments - ZRIN 1210-AB95. DOL - EBSA - Improving Investment Advice for Workers and Retirees - ZRIN 1210-ZA29. DOL - EBSA - Pension Benefit Statements-Lifetime Income Illustrations - RIN 1210-AB20. DOL - EBSA - Fiduciary Duties Regarding Proxy Voting and Shareholder Rights - RIN 1210-AB91. DOL - EBSA - Amendment to and Partial Revocation of Prohibited Transaction Exemption (PTE) 84-24 for Certain Transactions Involving Insurance Agents and Brokers, Pension Consultants, Insurance Companies, and Investment Company Principal Underwriters. DOL - EBSA - Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights (RIN - 1210-AC03/ 29 CFR 2550). DOL - EBSA - Definition of the Term Fiduciary - RIN 1210-AC02. SEC - Reporting Threshold for Institutional Investment Managers - RIN 3235-AM65. SEC - Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice - RIN 3235-AN00 (Release Nos. 34-92766; IA-5833; File No. S7-10-21). SEC - FINRA - Proposed Rule Change to Amend FINRA Rule 2231 (Customer Account Statements) - SR-FINRA-2021-024. SEC - FINRA - Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17 - SR-FINRA-2021-023. SEC - Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants - (RIN 3235-AM76 - Release No. 34-93614; File No. S7-19-2 - 17 CFR Part 240). Treasury - IRS Proposed Rulemaking: Updated Life Expectancy and Distribution Period Tables Used for Purposes of Determining Minimum Required Distributions (26 CFR Part 1 [REG-132210-18] RIN 1545-BP11). Proposals at the Department of Treasury for increasing Americans' access to guaranteed lifetime income solutions. Proposals at the Department of Labor for increasing Americans' access to guaranteed lifetime income solutions. Department of Labor rule to expand the scope of persons and entities that would be considered a fiduciary under the Employee Retirement Income Security Act. The Consumer Data Privacy Act - (Sen. Wyden (D-OR) - Discussion Draft). The CECL Consumer Impact and Study Bill of 2019 (H.R. 3182 - 116th Congress). The Corporate Management Accountability Act of 2019 (S.1885/H.R. 4320 - 116th Congress). The Cybersecurity and Financial System Resilience Act of 2019 (H.R. 4458 - 116th Congress). Senior Investor Pandemic and Fraud Protection Act - House Financial Services National Security, International Development and Monetary Policy Subcommittee (Discussion Draft). House Energy and Commerce Committee - Privacy Bill (Discussion Draft). The American Families Plan. The Bipartisan Infrastructure Framework. The Diversity and Inclusion Data Accountability and Transparency Act. (H.R. 2123 - 117th Congress). The Diversity Data Accountability Act (H.R.2001 - 117th Congress). The ESG Disclosure Simplification Act. (H.R. 1187 - 117th Congress). The Financial Exploitation Prevention Act (H.R. 2265 - 117th Congress). The Financial Factors in Selecting Retirement Plan Investment Act (S.1762/H.R. 3387-117th Congress). The Financial Services and General Government Appropriations Act, 2022 (H.R. 4345 - 117th Congress). The Improving Corporate Governance Through Diversity Act. (H.R. 1277 - 117th Congress). The INVEST in America Act (H.R. 3684 - 117th Congress). The Primary Regulators of Insurance Vote Act (H.R.3099 - 117th Congress). The Promoting Diversity and Inclusion in Banking Act. (H.R. 2516 - 117th Congress). The Protecting the Right to Organize (PRO) Act (S.420/H.R. 842-117th Congress). The Secure and Fair Enforcement (SAFE) Banking Act (S.910/H.R. 1996-117th Congress). The Securing and Enabling Commerce Using Remote and Electronic Notarization Act (S.1625/H.R. 3962 - 117th Congress). The Senior Security Act (S.856/H.R. 1565 - 117th Congress). The Shareholder Political Transparency Act. (H.R. 1087 - 117th Congress). The E-SIGN Modernization Act. (S.4159 - 116th Congress). The SAFE Banking Act (S.910/H.R. 1996 - 117th Congress). National Defense Authorization Act for Fiscal Year 2022 (S.2792/H.R. 4350 - 117th Congress). Elder Justice Reauthorization and Modernization Act of 2021 (S.2674/H.R. 4969 - 117th Congress). The Empowering States to Protect Seniors from Bad Actors Act (H.R. 5914 - 117th Congress). The Registration for Index-Linked Annuities (RILA) Act (S.3198/H.R. 4865 - 117th Congress). The Financial Fitness Act (H.R. 5779 - 117th Congress). DOL implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury/IRS implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC - Implementation and Enforcement of Regulation BI and Form CRS.
2021 · fourth_quarter · Taxation/Internal Revenue Code
HR 1459/S 510, Ultra-Millionaire Tax Act - impose a tax on the net value of assets of a taxpayer. HR 1984, Disaster Savings and Resilient Construction Act - provide a credit for owning certain disaster resilient property. S 617, Death Tax Repeal Act of 2021 - repeal the estate and generation-skipping transfer taxes. HR 1979/S 794, Tax Excessive CEO Pay Act - corporate tax rate increase on companies whose ratio of compensation of the CEO to median worker is more than 50 to 1. HR 328/S 817, Wall Street Tax Act - impose a 0.1% excise tax on certain purchases of stocks, bonds, and derivatives. HR 1565/S 856, Senior Security Act - establishes the Senior Investor Taskforce within the SEC. S 994, For the 99.5% Act - reinstate estate and generation-skipping taxes. PL 115-97, Tax Cuts and Jobs Act - amends corporate and individual tax provisions. TAX HR 2573/S 1136 Affordable Housing Credit Improvement Act of 2021 -- to reform the low-income housing credit S 1283Tax on Wall Street Speculation Act -- impose a tax on certain trading transactions S 1308American Infrastructure Bonds Act of 2021 -- allows the issuer of an American infrastructure bond a tax credit for 28% of the interest payable under such bond. S 2028Millionaires Surtax Act -- To impose a surtax on high income individuals. S 2621Modernization of Derivatives Tax Act - modifies the tax treatment of derivatives. HR 4940/S 2680 Real Corporate Profits Tax Act - imposes an additional 7% tax on the adjusted net book income of a corporation that exceeds $100 million HR 5376 Build Back Better Act - provides funding, establishes programs, and otherwise modifies provisions relating to a broad array of areas, including education, labor, childcare, health care, taxes, immigration, and the environment
Client expense: $720,000 · Firm income: Not reported
2021 · third_quarter · Financial Institutions/Investments/Securities
Monitor issues impacting state securities regulators and investor protection; HR 1565, the Senior Security Act to create an interdivisional task force within the SEC to combat senior fraud.
Client expense: Not reported · Firm income: $10,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2021 · third_quarter · Financial Institutions/Investments/Securities
H.R. 2513 (116th Cong.) - Corporate Transparency Act of 2019; Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; Housing finance reform (general); H.R. 609 (116th Cong.) - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; H.R.6242 (116th Cong.) - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; H.R. 2 (116th Cong.) - Moving Forward Act; SEC Temporary Exemptive Order related to municipal advisors; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Anticipated retirement legislation in the Senate; Prime brokerage regulation; Security-based Swaps; Clearing and Settlement; Margin for uncleared swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; H.R. 1816 - To require the Federal Trade Commission to promulgate regulations related to sensitive personal information, and for other purposes; H.R. 1565/S.856 - Senior Security Act of 2021; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes; Budget Reconciliation Package.
2021 · third_quarter · Financial Institutions/Investments/Securities
Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform. EOP - Executive Order on Climate-Related Financial Risk. EOP - Amending Executive Order 13959 - Addressing the Threat from Securities Investments That Finance Communist Chinese Military Companies (E.O. 13974 of Jan 13, 2021 - 86 FR 4875). EOP - Executive Order 13990 - Protecting Public Health and the Environment and Restoring Science to Tackle the Climate Crisis (Federal Register/Vol. 86, No. 14 - Monday, January 25, 2021). FINRA - Comment on Lessons From the COVID-19 Pandemic (Regulatory Notice 20-42). DOL - EBSA - Cybersecurity Guidance for Plan Sponsors, Fiduciaries, Record Keepers and Participants. DOL - EBSA - PTE 2020-02 - Improving Investment Advice for Workers & Retirees. DOL - EBSA - Financial Factors in Selecting Plan Investments - ZRIN 1210-AB95. DOL - EBSA - Improving Investment Advice for Workers and Retirees - ZRIN 1210-ZA29. DOL - EBSA - Pension Benefit Statements-Lifetime Income Illustrations - RIN 1210-AB20. DOL - EBSA - Fiduciary Duties Regarding Proxy Voting and Shareholder Rights - RIN 1210-AB91. DOL - EBSA - Amendment to and Partial Revocation of Prohibited Transaction Exemption (PTE) 84-24 for Certain Transactions Involving Insurance Agents and Brokers, Pension Consultants, Insurance Companies, and Investment Company Principal Underwriters. SEC - Reporting Threshold for Institutional Investment Managers - RIN 3235-AM65. SEC - Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice - RIN 3235-AN00 (Release Nos. 34-92766; IA-5833; File No. S7-10-21). SEC - FINRA - Proposed Rule Change to Amend FINRA Rule 2231 (Customer Account Statements) - SR-FINRA-2021-024. SEC - FINRA - Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17 - SR-FINRA-2021-023. Treasury - IRS Proposed Rulemaking: Updated Life Expectancy and Distribution Period Tables Used for Purposes of Determining Minimum Required Distributions (26 CFR Part 1 [REG-132210-18] RIN 1545-BP11). Proposals at the Department of Treasury for increasing Americans' access to guaranteed lifetime income solutions. Proposals at the Department of Labor for increasing Americans' access to guaranteed lifetime income solutions. Department of Labor rule to expand the scope of persons and entities that would be considered a fiduciary under the Employee Retirement Income Security Act. The Consumer Data Privacy Act - (Sen. Wyden (D-OR) - Discussion Draft). The CECL Consumer Impact and Study Bill of 2019 (H.R. 3182 - 116th Congress). The Corporate Management Accountability Act of 2019 (S.1885/H.R. 4320 - 116th Congress). The Cybersecurity and Financial System Resilience Act of 2019 (H.R. 4458 - 116th Congress). Senior Investor Pandemic and Fraud Protection Act - House Financial Services National Security, International Development and Monetary Policy Subcommittee (Discussion Draft). House Energy and Commerce Committee - Privacy Bill (Discussion Draft). The American Families Plan. The Bipartisan Infrastructure Framework. The Diversity and Inclusion Data Accountability and Transparency Act. (H.R. 2123 - 117th Congress). The Diversity Data Accountability Act (H.R.2001 - 117th Congress). The ESG Disclosure Simplification Act. (H.R. 1187 - 117th Congress). The Financial Exploitation Prevention Act (H.R. 2265 - 117th Congress). The Financial Factors in Selecting Retirement Plan Investment Act (S.1762/H.R. 3387-117th Congress). The Financial Services and General Government Appropriations Act, 2022 (H.R.4345 - 117th Congress). The Improving Corporate Governance Through Diversity Act. (H.R. 1277 - 117th Congress). The INVEST in America Act (H.R. 3684 - 117th Congress). The Primary Regulators of Insurance Vote Act (H.R.3099 - 117th Congress). The Promoting Diversity and Inclusion in Banking Act. (H.R. 2516 - 117th Congress). The Protecting the Right to Organize (PRO) Act (S. 420/H.R. 842-117th Congress). The Secure and Fair Enforcement (SAFE) Banking Act (S.910/H.R. 1996-117th Congress). The Securing and Enabling Commerce Using Remote and Electronic Notarization Act (S.1625/H.R. 3962 - 117th Congress). The Senior Security Act (S.856/H.R.1565 - 117th Congress). The Shareholder Political Transparency Act. (H.R. 1087 - 117th Congress). The Registration for Index Linked Annuities Act of 2020 (S.3795/H.R.6994 - 116th Congress). The E-SIGN Modernization Act. (S.4159 - 116th Congress). The SAFE Banking Act (S.910/H.R. 1996 - 117th Congress). The Registration for Indexed Linked Annuity (RILA) Act (H.R. 4865 - 117th Congress). National Defense Authorization Act for Fiscal Year 2022 (S. 2792/H.R. 4350 - 117th Congress). Elder Justice Reauthorization and Modernization Act of 2021 (S.2674/H.R.4969 - 117th Congress). DOL implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury/IRS implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC - Implementation and Enforcement of Regulation BI and Form CRS.
2021 · third_quarter · Retirement
Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform. DOL - EBSA - Cybersecurity Guidance for Plan Sponsors, Fiduciaries, Record Keepers and Participants. DOL - EBSA - PTE 2020-02 - Improving Investment Advice for Workers & Retirees. DOL - EBSA - Financial Factors in Selecting Plan Investments - ZRIN 1210-AB95. DOL - EBSA - Improving Investment Advice for Workers and Retirees - ZRIN 1210-ZA29. DOL - EBSA - Pension Benefit Statements-Lifetime Income Illustrations - RIN 1210-AB20. DOL - EBSA - Fiduciary Duties Regarding Proxy Voting and Shareholder Rights - RIN 1210-AB91. DOL - OSEC - Rescission of Department of Labor Rule on Guidance (29 CFR Part 89 - RIN 1290-AA41). DOL - EBSA - Amendment to and Partial Revocation of Prohibited Transaction Exemption (PTE) 84-24 for Certain Transactions Involving Insurance Agents and Brokers, Pension Consultants, Insurance Companies, and Investment Company Principal Underwriters. EOP - Executive Order on Climate-Related Financial Risk. EOP - Amending Executive Order 13959 - Addressing the Threat from Securities Investments That Finance Communist Chinese Military Companies (E.O. 13974 of Jan 13, 2021 - 86 FR 4875). EOP - Executive Order 13990 - Protecting Public Health and the Environment and Restoring Science to Tackle the Climate Crisis (Federal Register/Vol. 86, No. 14 - Monday, January 25, 2021). FINRA - Comment on Lessons From the COVID-19 Pandemic (Regulatory Notice 20-42). Proposals at the Department of Treasury for increasing Americans' access to guaranteed lifetime income solutions. Treasury - IRS Proposed Rulemaking: Multiple Employer Plans (26 CFR Part 1 [REG-121508-18] RIN 1545-BO97). Treasury - IRS Proposed Rulemaking: Updated Life Expectancy and Distribution Period Tables Used for Purposes of Determining Minimum Required Distributions (26 CFR Part 1 [REG-132210-18] RIN 1545-BP11). Proposals at the Department of Labor for increasing Americans' access to guaranteed lifetime income solutions. SEC - Implementation and Enforcement of Regulation BI and Form CRS. SEC - Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts (17 CFR Parts 230, 232, 239, 240, 270, and 274). SEC - Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice - RIN 3235-AN00 (Release Nos. 34-92766; IA-5833; File No. S7-10-21). SEC - FINRA - Proposed Rule Change to Amend FINRA Rule 2231 (Customer Account Statements) - SR-FINRA-2021-024. SEC - FINRA - Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17 - SR-FINRA-2021-023. The Automatic Retirement Plan Act of 2017 (H.R. 4523 - 115th Congress). The Retirement Plan Simplification Act of 2017 (H.R. 4524 - 115th Congress). The Expanding Access to Retirement Savings for Caregivers Act (H.R. 3078 - 116th Congress). The Application of ERISA to Insurance Company General Accounts and General Account Contracts (H.R. 7278 - 115th Congress). Senior Investor Pandemic and Fraud Protection Act - House Financial Services National Security, International Development and Monetary Policy Subcommittee (Discussion Draft). The Enhancing Emergency and Retirement Savings Act (S.1870-117th Congress). The Financial Exploitation Prevention Act (H.R. 2265 - 117th Congress). The Financial Factors in Selecting Retirement Plan Investment Act (S.1762/H.R. 3387-117th Congress). The Financial Services and General Government Appropriations Act, 2022 (H.R.4345 - 117th Congress). The Improving Access to Retirement Savings Act of 2021 (S.1703 - 117th Congress). The Long-Term Care Affordability Act (S.4820 - 116th Congress). The Military Spouses Retirement Security Act (S. 1273/HR 1453 - 117th Congress). The Protecting the Right to Organize (PRO) Act (S. 420/H.R. 842-117th Congress). The Retirement Parity for Student Loans Act (S. 1443/HR 2917 - 117th Congress). The Retirement Savings Lost and Found Act (S.1730 - 117th Congress). The Retirement Security and Savings Act of 2021 (S. 1770 - 117th Congress). The Securing a Strong Retirement Act (H.R.2954 - 117th Congress). The Securing and Enabling Commerce Using Remote and Electronic Notarization Act (S.1625/H.R. 3962 - 117th Congress). The Senior Security Act (S.856/H.R.1565 - 117th Congress). The Servicemember Retirement Improvement Act (H.R. 905 - 116th Congress). The E-SIGN Modernization Act. (S.4159 - 116th Congress). The Lifetime Income for Employees Act (HR. 8990 - 116th Congress). The Secure and Fair Enforcement (SAFE) Banking Act (S.910/H.R. 1996 - 117th Congress). The Registration for Indexed Linked Annuity (RILA) Act (H.R. 4865 - 117th Congress). Build Back Better Act (H.R. 5367 - 117th Congress). Womens Retirement Protection Act (S. 2446/H.R. 4678 - 117th Congress). National Defense Authorization Act for Fiscal Year 2022 (S. 2792/H.R. 4350 - 117th Congress). Elder Justice Reauthorization and Modernization Act of 2021 (S.2674/H.R.4969 - 117th Congress). DOL implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury/IRS implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury - IRS - Draft of the 2022 IRS Form W-4P and W4-R, Withholding Certificate for Periodic Pension or Annuity Payments. Treasury - IRS - Notice 2021-03 - Extension of Temporary Relief from the Physical Presence Requirement for Spousal Consents Under Qualified Retirement Plans.
2021 · third_quarter · Taxation/Internal Revenue Code
HR 1459/S 510, Ultra-Millionaire Tax Act - impose a tax on the net value of assets of a taxpayer. HR 1984, Disaster Savings and Resilient Construction Act - provide a credit for owning certain disaster resilient property. S 617, Death Tax Repeal Act of 2021 - repeal the estate and generation-skipping transfer taxes. HR 1979/S 794, Tax Excessive CEO Pay Act - corporate tax rate increase on companies whose ratio of compensation of the CEO to median worker is more than 50 to 1. HR 328/S 817, Wall Street Tax Act - impose a 0.1% excise tax on certain purchases of stocks, bonds, and derivatives. HR 1565/S 856, Senior Security Act - establishes the Senior Investor Taskforce within the SEC. S 994, For the 99.5% Act - reinstate estate and generation-skipping taxes. PL 115-97, Tax Cuts and Jobs Act - amends corporate and individual tax provisions. TAX HR 2573/S 1136 Affordable Housing Credit Improvement Act of 2021 -- to reform the low-income housing credit S 1283Tax on Wall Street Speculation Act -- impose a tax on certain trading transactions S 1308American Infrastructure Bonds Act of 2021 -- allows the issuer of an American infrastructure bond a tax credit for 28% of the interest payable under such bond. S 2028Millionaires Surtax Act -- To impose a surtax on high income individuals. S 2621Modernization of Derivatives Tax Act - modifies the tax treatment of derivatives. HR 4940/S 2680 Real Corporate Profits Tax Act - imposes an additional 7% tax on the adjusted net book income of a corporation that exceeds $100 million HR 5376 Build Back Better Act - provides funding, establishes programs, and otherwise modifies provisions relating to a broad array of areas, including education, labor, childcare, health care, taxes, immigration, and the environment
Client expense: $640,000 · Firm income: Not reported
2021 · second_quarter · Financial Institutions/Investments/Securities
H.R. 2513 (116th Cong.) - Corporate Transparency Act of 2019; Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; Housing finance reform (general); H.R. 609 (116th Cong.) - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; H.R.6242 (116th Cong.) - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; H.R. 2 (116th Cong.) - Moving Forward Act; SEC Temporary Exemptive Order related to municipal advisors; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Anticipated retirement legislation in the Senate; Prime brokerage regulation; Security-based Swaps; Clearing and Settlement; Margin for uncleared swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; H.R. 1816 - To require the Federal Trade Commission to promulgate regulations related to sensitive personal information, and for other purposes; H.R. 1565/S.856 - Senior Security Act of 2021; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes.
2021 · second_quarter · Retirement
Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform. DOL - EBSA - Cybersecurity Guidance for Plan Sponsors, Fiduciaries, Record Keepers and Participants. DOL - EBSA - PTE 2020-02 - Improving Investment Advice for Workers & Retirees. DOL - EBSA - Financial Factors in Selecting Plan Investments - ZRIN 1210-AB95. DOL - EBSA - Improving Investment Advice for Workers and Retirees - ZRIN 1210-ZA29. DOL - EBSA - Pension Benefit Statements-Lifetime Income Illustrations - RIN 1210-AB20. DOL - EBSA - Fiduciary Duties Regarding Proxy Voting and Shareholder Rights - RIN 1210-AB91. DOL - OSEC - Rescission of Department of Labor Rule on Guidance (29 CFR Part 89 - RIN 1290-AA41). EOP - Executive Order on Climate-Related Financial Risk. EOP - Amending Executive Order 13959 - Addressing the Threat from Securities Investments That Finance Communist Chinese Military Companies (E.O. 13974 of Jan 13, 2021 - 86 FR 4875). EOP - Executive Order 13990 - Protecting Public Health and the Environment and Restoring Science to Tackle the Climate Crisis (Federal Register/Vol. 86, No. 14 - Monday, January 25, 2021). FINRA - Comment on Lessons From the COVID-19 Pandemic (Regulatory Notice 20-42). Proposals at the Department of Treasury for increasing Americans' access to guaranteed lifetime income solutions. Treasury - IRS Proposed Rulemaking: Multiple Employer Plans (26 CFR Part 1 [REG-121508-18] RIN 1545-BO97). Treasury - IRS Proposed Rulemaking: Updated Life Expectancy and Distribution Period Tables Used for Purposes of Determining Minimum Required Distributions (26 CFR Part 1 [REG-132210-18] RIN 1545-BP11). Proposals at the Department of Labor for increasing Americans' access to guaranteed lifetime income solutions. SEC - Implementation and Enforcement of Regulation BI and Form CRS. SEC - Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts (17 CFR Parts 230, 232, 239, 240, 270, and 274). The Automatic Retirement Plan Act of 2017 (H.R. 4523 - 115th Congress). The Retirement Plan Simplification Act of 2017 (H.R. 4524 - 115th Congress). The Expanding Access to Retirement Savings for Caregivers Act (H.R. 3078 - 116th Congress). The Application of ERISA to Insurance Company General Accounts and General Account Contracts (H.R. 7278 - 115th Congress). Senior Investor Pandemic and Fraud Protection Act - House Financial Services National Security, International Development and Monetary Policy Subcommittee (Discussion Draft). The Enhancing Emergency and Retirement Savings Act (S.1870-117th Congress). The Financial Exploitation Prevention Act (H.R. 2265 - 117th Congress). The Financial Factors in Selecting Retirement Plan Investment Act (S.1762/H.R. 3387-117th Congress). The Financial Services and General Government Appropriations Act, 2022 (H.R.4345 - 117th Congress). The Improving Access to Retirement Savings Act of 2021 (S.1703 - 117th Congress). The Long-Term Care Affordability Act (S.4820 - 116th Congress). The Military Spouses Retirement Security Act (S. 1273/HR 1453 - 117th Congress). The Protecting the Right to Organize (PRO) Act (S. 420/H.R. 842-117th Congress). The Retirement Parity for Student Loans Act (S. 1443/HR 2917 - 117th Congress). The Retirement Savings Lost and Found Act (S.1730 - 117th Congress). The Retirement Security and Savings Act of 2021 (S. 1770 - 117th Congress). The Securing a Strong Retirement Act (H.R.2954 - 117th Congress). The Securing and Enabling Commerce Using Remote and Electronic Notarization Act (S.1625 - 117th Congress). The Senior Security Act (S.856/H.R.1565 - 117th Congress). The Servicemember Retirement Improvement Act (H.R. 905 - 116th Congress). The Registration for Index Linked Annuities Act of 2020 (S.3795/H.R.6994 - 116th Congress). The E-SIGN Modernization Act. (S.4159 - 116th Congress). The Lifetime Income for Employees Act (HR. 8990 - 116th Congress). The Secure and Fair Enforcement (SAFE) Banking Act (S.910/H.R. 1996 - 117th Congress). DOL implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury/IRS implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury - IRS - Draft of the 2022 IRS Form W-4P and W4-R, Withholding Certificate for Periodic Pension or Annuity Payments. Treasury - IRS - Notice 2021-03 - Extension of Temporary Relief from the Physical Presence Requirement for Spousal Consents Under Qualified Retirement Plans.
2021 · second_quarter · Financial Institutions/Investments/Securities
Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform. EOP - Executive Order on Climate-Related Financial Risk. EOP - Amending Executive Order 13959 - Addressing the Threat from Securities Investments That Finance Communist Chinese Military Companies (E.O. 13974 of Jan 13, 2021 - 86 FR 4875). EOP - Executive Order 13990 - Protecting Public Health and the Environment and Restoring Science to Tackle the Climate Crisis (Federal Register/Vol. 86, No. 14 - Monday, January 25, 2021). FINRA - Comment on Lessons From the COVID-19 Pandemic (Regulatory Notice 20-42). DOL - EBSA - Cybersecurity Guidance for Plan Sponsors, Fiduciaries, Record Keepers and Participants. DOL - EBSA - PTE 2020-02 - Improving Investment Advice for Workers & Retirees. DOL - EBSA - Financial Factors in Selecting Plan Investments - ZRIN 1210-AB95. DOL - EBSA - Improving Investment Advice for Workers and Retirees - ZRIN 1210-ZA29. DOL - EBSA - Pension Benefit Statements-Lifetime Income Illustrations - RIN 1210-AB20. DOL - EBSA - Fiduciary Duties Regarding Proxy Voting and Shareholder Rights - RIN 1210-AB91. SEC - Implementation and Enforcement of Regulation BI and Form CRS. SEC - Reporting Threshold for Institutional Investment Managers - RIN 3235-AM65. Treasury - IRS Proposed Rulemaking: Updated Life Expectancy and Distribution Period Tables Used for Purposes of Determining Minimum Required Distributions (26 CFR Part 1 [REG-132210-18] RIN 1545-BP11). Proposals at the Department of Treasury for increasing Americans' access to guaranteed lifetime income solutions. Proposals at the Department of Labor for increasing Americans' access to guaranteed lifetime income solutions. Department of Labor rule to expand the scope of persons and entities that would be considered a fiduciary under the Employee Retirement Income Security Act. The Consumer Data Privacy Act - (Sen. Wyden (D-OR) - Discussion Draft). The CECL Consumer Impact and Study Bill of 2019 (H.R. 3182 - 116th Congress). The Corporate Management Accountability Act of 2019 (S.1885/H.R. 4320 - 116th Congress). The Cybersecurity and Financial System Resilience Act of 2019 (H.R. 4458 - 116th Congress). Senior Investor Pandemic and Fraud Protection Act - House Financial Services National Security, International Development and Monetary Policy Subcommittee (Discussion Draft). House Energy and Commerce Committee - Privacy Bill (Discussion Draft). The American Families Plan. The Bipartisan Infrastructure Framework. The Diversity and Inclusion Data Accountability and Transparency Act. (H.R. 2123 - 117th Congress). The Diversity Data Accountability Act (H.R.2001 - 117th Congress). The ESG Disclosure Simplification Act. (H.R. 1187 - 117th Congress). The Financial Exploitation Prevention Act (H.R. 2265 - 117th Congress). The Financial Factors in Selecting Retirement Plan Investment Act (S.1762/H.R. 3387-117th Congress). The Financial Services and General Government Appropriations Act, 2022 (H.R.4345 - 117th Congress). The Improving Corporate Governance Through Diversity Act. (H.R. 1277 - 117th Congress). The INVEST in America Act (H.R. 3684 - 117th Congress). The Primary Regulators of Insurance Vote Act (H.R.3099 - 117th Congress). The Promoting Diversity and Inclusion in Banking Act. (H.R. 2516 - 117th Congress). The Protecting the Right to Organize (PRO) Act (S. 420/H.R. 842-117th Congress). The Secure and Fair Enforcement (SAFE) Banking Act (S.910/H.R. 1996-117th Congress). The Securing and Enabling Commerce Using Remote and Electronic Notarization Act (S.1625 - 117th Congress). The Senior Security Act (S.856/H.R.1565 - 117th Congress). The Shareholder Political Transparency Act. (H.R. 1087 - 117th Congress). The Registration for Index Linked Annuities Act of 2020 (S.3795/H.R.6994 - 116th Congress). The E-SIGN Modernization Act. (S.4159 - 116th Congress). The SAFE Banking Act (S.910/H.R. 1996 - 117th Congress). DOL implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury/IRS implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94).
2021 · second_quarter · Taxation/Internal Revenue Code
HR 1459/S 510, Ultra-Millionaire Tax Act - impose a tax on the net value of assets of a taxpayer. HR 1984, Disaster Savings and Resilient Construction Act - provide a credit for owning certain disaster resilient property. S 617, Death Tax Repeal Act of 2021 - repeal the estate and generation-skipping transfer taxes. HR 1979/S 794, Tax Excessive CEO Pay Act - corporate tax rate increase on companies whose ratio of compensation of the CEO to median worker is more than 50 to 1. HR 328/S 817, Wall Street Tax Act - impose a 0.1% excise tax on certain purchases of stocks, bonds, and derivatives. HR 1565/S 856, Senior Security Act - establishes the Senior Investor Taskforce within the SEC. S 994, For the 99.5% Act - reinstate estate and generation-skipping taxes. DRAFTAmerican Jobs Plan - changes to infrastructure, corporate tax, and other for other purposes. PL 115-97, Tax Cuts and Jobs Act - amends corporate and individual tax provisions. TAX HR 2573/S 1136 Affordable Housing Credit Improvement Act of 2021 -- to reform the low-income housing credit S 1283Tax on Wall Street Speculation Act -- impose a tax on certain trading transactions S 1308American Infrastructure Bonds Act of 2021 -- allows the issuer of an American infrastructure bond a tax credit for 28% of the interest payable under such bond. DRAFT American Families Plan - To provide public education, childcare, paid leave, and for other purposes. S 2028Millionaires Surtax Act -- To impose a surtax on high income individuals.
Client expense: $750,000 · Firm income: Not reported
2021 · second_quarter · Financial Institutions/Investments/Securities
Monitor issues impacting state securities regulators and investor protection; HR 1565, the Senior Security Act to create an interdivisional task force within the SEC to combat senior fraud.
Client expense: Not reported · Firm income: $10,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2021 · first_quarter · Financial Institutions/Investments/Securities
Monitor issues impacting state securities regulators and investor protection; HR 1565, the Senior Security Act to create an interdivisional task force within the SEC to combat senior fraud.
Client expense: Not reported · Firm income: $10,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2021 · first_quarter · Financial Institutions/Investments/Securities
H.R. 2513 (116th Cong.) - Corporate Transparency Act of 2019; Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; Housing finance reform (general); H.R. 609 (116th Cong.) - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; S. 4203 (116th Cong.) - American Infrastructure Bonds Act of 2020; H.R.6242 (116th Cong.) - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; H.R. 2 (116th Cong.) - Moving Forward Act; S. 2866 (116th Cong.) - Rural Broadband Financing Flexibility Act; H.R. 7857 (116th Cong.) - Connect America Now (CAN) Act; H.R. 1565, Senior Security Act of 2021; SEC Temporary Exemptive Order related to municipal advisors; S. 856, Senior Security Act; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Anticipated retirement legislation in the Senate; Prime brokerage regulation; Security-based Swaps; Clearing and Settlement; Margin for uncleared swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; H.R. 1816 - To require the Federal Trade Commission to promulgate regulations related to sensitive personal information, and for other purposes; H.R. 1565/S.856 - Senior Security Act of 2021.
Client expense: $1,750,000 · Firm income: Not reported
2021 · first_quarter · Retirement
DOL - EBSA Request for Information - Open MEPs and Other Issues under Section 3(5) of the Employee Retirement Income Security Act (29 CFR Parts 2510). DOL - EBSA Proposed PTE for Pooled Employer Plans Under the SECURE Act and Other Multiple Employer Plans RFI (85 FR 36880 - Application No. D-12010 - Document Number: 2020-13142). DOL - EBSA - Prohibited Transactions Involving Pooled Employer Plans Under the SECURE Act and Other Multiple Employer Plans - RIN: 1210-ZA28. DOL - EBSA - Financial Factors in Selecting Plan Investments - ZRIN 1210-AB95. DOL - EBSA - Improving Investment Advice for Workers and Retirees - ZRIN 1210-ZA29. DOL - EBSA - Registration Requirements for Pooled Plan Providers - RIN 1210-AB94. DOL - EBSA - Pension Benefit Statements-Lifetime Income Illustrations - RIN 1210-AB20. DOL - EBSA - Fiduciary Duties Regarding Proxy Voting and Shareholder Rights - RIN 1210-AB91. DOL - OSEC - Rescission of Department of Labor Rule on Guidance (29 CFR Part 89 - RIN 1290-AA41). EOP - Amending Executive Order 13959 - Addressing the Threat from Securities Investments That Finance Communist Chinese Military Companies (E.O. 13974 of Jan 13, 2021 - 86 FR 4875). EOP - Executive Order 13990 - Protecting Public Health and the Environment and Restoring Science to Tackle the Climate Crisis (Federal Register/Vol. 86, No. 14 - Monday, January 25, 2021). FINRA - Comment on Lessons From the COVID-19 Pandemic (Regulatory Notice 20-42). Legislation and rulemaking affecting annuities, variable life products and retirement savings including Trump Administration and Congressional proposals on tax reform. Proposals at the Department of Treasury for increasing Americans' access to guaranteed lifetime income solutions. Treasury - IRS Proposed Rulemaking: Multiple Employer Plans (26 CFR Part 1 [REG-121508-18] RIN 1545-BO97). Treasury - IRS Proposed Rulemaking: Updated Life Expectancy and Distribution Period Tables Used for Purposes of Determining Minimum Required Distributions (26 CFR Part 1 [REG-132210-18] RIN 1545-BP11). Proposals at the Department of Labor for increasing Americans' access to guaranteed lifetime income solutions. SEC - Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts (17 CFR Parts 230, 232, 239, 240, 270, and 274). The Automatic Retirement Plan Act of 2017 (H.R. 4523 - 115th Congress). The Retirement Plan Simplification Act of 2017 (H.R. 4524 - 115th Congress). Elder Protection and Abuse Prevention Act (H.R. 6744 - 115th Congress). Women's Retirement Protection Act (S.975/H.R. 2005- 116th Congress). Retirement Security Flexibility Act of 2019 (S.1020 - 116th Congress). Refund to Rainy Day Savings Act (S.1018 - 116th Congress). A bill to amend the Internal Revenue Code of 1986 and the Employee Retirement Income Security Act of 1974 to modify the requirements for multiple employer plans, and for other purposes (S.1011 - 116th Congress). Strengthening Financial Security Through Short-Term Savings Accounts Act of 2019 (S.1019 - 116th Congress). Savings for the Future Act (H.R. 2120 - 116th Congress). Social Security 2100 Act (S.269/H.R. 860 - 116th Congress). SIMPLE Plan Modernization Act (S.322 - 116th Congress). Retirement Security Act of 2019 (S.321 - 116th Congress). Surviving Widow(er) Income Fair Treatment (SWIFT) Act (S.345 - 116th Congress). SEC Disclosure Effectiveness Testing Act (H.R. 1815 - 116th Congress). Retirement Security for American Workers Act (H.R. 1907 - 116th Congress). Expanding Access to Retirement Savings for Caregivers Act (H.R. 3078 - 116th Congress). Retirement Parity for Student Loans Act (S.1428 - 116th Congress). Legacy IRA Act (S.1257 - 116th Congress). Retirement Security Preservation Act of 2019 (S.2352 - 116th Congress). Securing and Enabling Commerce Using Remote and Electronic Notarization Act of 2020 (H.R. 6364). Securing Additional Value for Every Retirement Saver (SAVERS) Act (H.R.6562). Application of ERISA to Insurance Company General Accounts and General Account Contracts (H.R. 7278 - 115th Session). The Health and Economic Recovery Omnibus Emergency Solutions (HEROES) Act (H.R. 6800). Senior Investor Pandemic and Fraud Protection Act - House Financial Services National Security, International Development and Monetary Policy Subcommittee (Discussion Draft). The Servicemember Retirement Improvement Act (H.R. 905 - 116th Congress). Registered Index Linked Annuity Act (S.3795/H.R. 6994 - 116th Congress). Defense, Commerce, Justice, Science, Energy and Water Development, Financial Services and General Government, Labor, Health and Human Services, Education, Transportation, Housing, and Urban Development Appropriations Act, 2021 (H.R.7617 - 116th Congress). Retirement Savings Lost & Found Act 2020 (S.4192/H.R. 7439 - 116th Congress). The Edith Shorougian Senior Victims of Fraud Compensation Act (Ediths Bill) (S.3487/H.R.7620 - 116th Congress). Addressing Missing-savings Opportunities for Retirement due to an Epidemic Act (AMORE Act) (S.4297 - 116th Congress). Military Spouses Retirement Security Act (H.R. 7927 - 116th Congress). Preserving Employee Retirement Savings Act (H.R. 8083 - 116th Congress). The E-SIGN Modernization Act. (S.4159 - 116th Congress). The HEROES Act (H.R. 925 - 116th Congress). American Workers, Families, and Employers Assistance Act (S.4318 - 116th Congress). Retirement Savings and Security Act (S.1431 - 116th Congress). Securing a Strong Retirement Act of 2020 (H.R. 8696 - 116th Congress). Improving Access to Retirement Savings Act (S.5064 - 116th Congress). Lifetime Income for Employees Act (HR. 8990 - 116th Congress). Senior Security Act (S.856/H.R. 1565 - 117th Congress). The Secure and Fair Enforcement (SAFE) Banking Act (S.910/H.R. 1996 - 117th Congress). American Rescue Plan Act of 2021 (Public Law No: 117-2). Implementation of Continuing Appropriations Act, 2021 and Other Extensions Act (P.L. 116-159 - 116th Congress). Implementation of Coronavirus Aid, Relief and Economic Security (CARES) Act (Public Law No: 116-136). DOL implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury/IRS implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94).
2021 · first_quarter · Financial Institutions/Investments/Securities
EOP - Amending Executive Order 13959 - Addressing the Threat from Securities Investments That Finance Communist Chinese Military Companies (E.O. 13974 of Jan 13, 2021 - 86 FR 4875). EOP - Executive Order 13990 - Protecting Public Health and the Environment and Restoring Science to Tackle the Climate Crisis (Federal Register/Vol. 86, No. 14 - Monday, January 25, 2021). FINRA - Comment on Lessons From the COVID-19 Pandemic (Regulatory Notice 20-42). DOL - EBSA - Financial Factors in Selecting Plan Investments - ZRIN 1210-AB95. DOL - EBSA - Improving Investment Advice for Workers and Retirees - ZRIN 1210-ZA29. DOL - EBSA - Registration Requirements for Pooled Plan Providers - RIN 1210-AB94. DOL - EBSA - Pension Benefit Statements-Lifetime Income Illustrations - RIN 1210-AB20. DOL - EBSA - Fiduciary Duties Regarding Proxy Voting and Shareholder Rights - RIN 1210-AB91. SEC - Reporting Threshold for Institutional Investment Managers - RIN 3235-AM65. SEC Regulation Best Interest (17 CFR Part 240). SEC Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation (17 CFR Part 275). SEC Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures in Retail Communications and Restrictions on the use of Certain Names or Titles (17 CFR Parts 240, 249, 275 and 279). SEC - Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts (17 CFR Parts 230, 232, 239, 240, 270, and 274). Treasury - IRS Proposed Rulemaking: Updated Life Expectancy and Distribution Period Tables Used for Purposes of Determining Minimum Required Distributions (26 CFR Part 1 [REG-132210-18] RIN 1545-BP11.) Legislation and rulemaking affecting annuities, variable life products and retirement savings including Trump Administration and Congressional proposals on tax reform. Public Law 111-203, Dodd-Frank Wall Street Reform and Consumer Protection Act, implementation and regulatory reform. Implementation of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. Proposals at the Department of Treasury for increasing Americans' access to guaranteed lifetime income solutions. Proposals at the Department of Labor for increasing Americans' access to guaranteed lifetime income solutions. Department of Labor rule to expand the scope of persons and entities that would be considered a fiduciary under the Employee Retirement Income Security Act. Elder Protection and Abuse Prevention Act (H.R. 6744 - 115th Congress). Consumer Data Privacy Act - (Sen. Wyden (D-OR) - Discussion Draft). Consumer Information Notification Requirement Act (H.R. 6743 - 115th Congress). Refund to Rainy Day Savings Act (S.1018 - 116th Congress). Strengthening Financial Security Through Short-Term Savings Accounts Act of 2019 (S.1019 - 116th Congress). Wall Street Tax Act of 2019 (S.647/H.R. 1516 - 116th Congress). SEC Disclosure Effectiveness Testing Act (H.R. 1815 - 116th Congress). Primary Regulators of Insurance Vote Act of 2019 (S.1298/H.R. 2479 - 116th Congress). Advancing Innovation to Assist Law Enforcement Act (H.R. 2613 - 116th Congress). Inclusive Prosperity Act of 2019 (S.1587/H.R. 2923 - 116th Congress). Financial Services and General Government Appropriations Act, 2020 (H.R. 3351 - 116th Congress). CECL Consumer Impact and Study Bill of 2019 (H.R. 3182 - 116th Congress). Continued Encouragement for Consumer Lending Act (S.1564 - 116th Congress). Corporate Management Accountability Act of 2019 (S.1885/H.R. 4320 - 116th Congress). Cybersecurity and Financial System Resilience Act of 2019 (H.R. 4458 - 116th Congress). Diversity in Corporate Leadership Act of 2019 (H.R.3279 - 116th Congress). Ensuring Diverse Leadership Act of 2019 (S.65/H.R.281 - 116th Congress). ESG Disclosure Simplification Act of 2019 (H.R. 4329 - 116th Congress). Financial Transparency Act of 2019 (H.R. 4476 - 116th Congress). Forced Arbitration Injustice Repeal (FAIR) Act (H.R. 1423 - 116th Congress). Greater Accountability in Pay Act of 2019 (H.R. 4242 - 116th Congress). International Insurance Standards Act (H.R. 4592 - 116th Congress). Investor Protection & Capital Markets Fairness Act (H.R. 4344 - 116th Congress). Stop Debt Collection Abuse Act (S.2516/H.R. 4403 - 116th Congress). The Health and Economic Recovery Omnibus Emergency Solutions (HEROES) Act (H.R. 6800). Securing and Enabling Commerce Using Remote and Electronic Notarization Act of 2020 (H.R. 6364). Senior Investor Pandemic and Fraud Protection Act - House Financial Services National Security, International Development and Monetary Policy Subcommittee (Discussion Draft). House Energy and Commerce Committee - Privacy Bill (Discussion Draft). COVID-19 Consumer Data Protection Act (S.3663 - 116th Congress). Registered Index Linked Annuity Act (S.3795/H.R. 6994 - 116th Congress). Defense, Commerce, Justice, Science, Energy and Water Development, Financial Services and General Government, Labor, Health and Human Services, Education, Transportation, Housing, and Urban Development Appropriations Act, 2021 (H.R.7617 -- 116th Congress). Securing and Enabling Commerce Using Remote and Electronic Notarization Act of 2020 (S.3533/H.R.6364 - 116th Congress). The Edith Shorougian Senior Victims of Fraud Compensation Act (Ediths Bill) (S.3487/H.R.7620 - 116th Congress). The E-SIGN Modernization Act. (S.4159 - 116th Congress). The HEROES Act (H.R. 925 - 116th Congress). Safe to Work Act (S.4317 - 116th Congress). Senior Security Act (S.856/H.R. 1565 - 117th Congress). SAFE Banking Act (S.910/H.R. 1996 - 117th Congress). Financial Exploitation Prevention Act (H.R. 2265 - 117th Congress). American Rescue Plan Act of 2021 (Public Law No: 117-2). Continuing Small Business Recovery and Paycheck Protection Program Act (S.4321 - 116th Congress). Securing and Enabling Commerce Using Remote and Electronic Notarization Act of 2020 (H.R. 6364). Senior Investor Pandemic and Fraud Protection Act - House Financial Services National Security, International Development and Monetary Policy Subcommittee (Discussion Draft). House Energy and Commerce Committee - Privacy Bill (Discussion Draft). Implementation of Continuing Appropriations Act, 2021 and Other Extensions Act (P.L. 116-159 - 116th Congress). Implementation of the Coronavirus Aid, Relief and Economic Security (CARES) Act (Public Law No: 116-136). DOL implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury/IRS implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94).
2021 · first_quarter · Taxation/Internal Revenue Code
HR 1319, American Rescue Plan Act of 2021 - provides additional relief to address the continued impact of COVID-19 on the economy, public health, state and local governments, individuals, and businesses. HR 1459/S 510, Ultra-Millionaire Tax Act - impose a tax on the net value of assets of a taxpayer. HR 1984, Disaster Savings and Resilient Construction Act - provide a credit for owning certain disaster resilient property. S 617, Death Tax Repeal Act of 2021 - repeal the estate and generation-skipping transfer taxes. HR 1979/S 794, Tax Excessive CEO Pay Act - corporate tax rate increase on companies whose ratio of compensation of the CEO to median worker is more than 50 to 1. HR 328/S 817, Wall Street Tax Act - impose a 0.1% excise tax on certain purchases of stocks, bonds, and derivatives. HR 1565/S 856, Senior Security Act - establishes the Senior Investor Taskforce within the SEC. S 994, For the 99.5% Act - reinstate estate and generation-skipping taxes. DRAFTAmerican Jobs Plan - changes to infrastructure, corporate tax, and other for other purposes. PL 115-97, Tax Cuts and Jobs Act - amends corporate and individual tax provisions.
Client expense: $860,000 · Firm income: Not reported
Considered under suspension of the rules. (consideration: CR H1910-1913; text: CR H1910-1911)
Ms. Pressley moved to suspend the rules and pass the bill.
Referred to the House Committee on Financial Services.
Introduced in House
Congress.gov source codes: 1000, Intro-H
| Republican |
| IN |
| Van Taylor | Republican | TX |
| Vicente Gonzalez | Democratic | TX |
Client expense: $300,000 · Firm income: Not reported
Government targets: Centers For Medicare and Medicaid Services (CMS), Defense, Dept of (DOD), Drug Enforcement Administration (DEA), Executive Office of the President (EOP), Federal Trade Commission (FTC), Food & Drug Administration (FDA), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Justice, Dept of (DOJ), Natl Institutes of Health (NIH), Occupational Safety & Health Administration (OSHA), Office of Management & Budget (OMB), SENATE, Veterans Affairs, Dept of (VA), White House Office
Government targets: HOUSE OF REPRESENTATIVES, SENATE
Client expense: $430,000 · Firm income: Not reported
Government targets: Centers For Medicare and Medicaid Services (CMS), Defense, Dept of (DOD), Drug Enforcement Administration (DEA), Executive Office of the President (EOP), Federal Trade Commission (FTC), Food & Drug Administration (FDA), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Justice, Dept of (DOJ), Natl Institutes of Health (NIH), Occupational Safety & Health Administration (OSHA), Office of Management & Budget (OMB), SENATE, Veterans Affairs, Dept of (VA), White House Office
Government targets: HOUSE OF REPRESENTATIVES, SENATE
Client expense: $180,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Client expense: $180,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Government targets: Agriculture, Dept of (USDA), Federal Deposit Insurance Corporation (FDIC), Federal Emergency Management Agency (FEMA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Transportation, Dept of (DOT), Treasury, Dept of, U.S. Copyright Office, U.S. Postal Service (USPS)
Client expense: $2,040,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Client expense: $140,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Client expense: $140,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Government targets: Agriculture, Dept of (USDA), Federal Deposit Insurance Corporation (FDIC), Federal Emergency Management Agency (FEMA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Transportation, Dept of (DOT), Treasury, Dept of, U.S. Copyright Office, U.S. Postal Service (USPS)
Client expense: $1,870,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Client expense: $130,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Client expense: $130,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Government targets: Agriculture, Dept of (USDA), Federal Deposit Insurance Corporation (FDIC), Federal Emergency Management Agency (FEMA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Transportation, Dept of (DOT), Treasury, Dept of, U.S. Copyright Office, U.S. Postal Service (USPS)
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Client expense: $130,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Client expense: $130,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Government targets: Agriculture, Dept of (USDA), Federal Deposit Insurance Corporation (FDIC), Federal Emergency Management Agency (FEMA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Transportation, Dept of (DOT), Treasury, Dept of, U.S. Copyright Office, U.S. Postal Service (USPS)